Charlie Kim
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charlie Kim, who also goes by Charles Kim, Charlie Kim, Charlie Songhui, was a registered financial professional .
Charlie is a previously registered financial professional and started their career in finance in 1997. Charlie had worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2017 - July 2, 2018
FORESTERS FINANCIAL SERVICES, INC.
January 27, 2015 - July 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 27, 2013 - December 16, 2014
GFA SECURITIES, LLC
January 31, 2012 - November 22, 2013
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 22, 2011 - January 20, 2012
MSI FINANCIAL SERVICES, INC.
September 30, 2008 - October 5, 2009
ABERDEEN FUND DISTRIBUTORS, LLC
November 17, 2006 - September 18, 2008
PGIM INVESTMENTS LLC
September 3, 2004 - September 18, 2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 16, 2003 - July 22, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 30, 1998 - November 12, 1999
ALLIANCEBERNSTEIN INVESTMENTS, INC.
June 18, 1997 - July 6, 1998
M.S. FARRELL & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESTERS FINANCIAL SERVICES, INC.
CRD#: 305 / SEC#: , 8-13891
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Civil Event | 3 |
| Arbitration | 18 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
